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Aerospace Corporation:Records Retention Policies

Final Project Report

December 14, 1998

Prepared By:

Kevin Chan, [email protected], [email protected]

Bert Ciccone, [email protected], [email protected]

Ken Sun, [email protected], [email protected]

Prepared For:

Professor Ann Majchzrak

IOM 533

Client:

Kay Wade, Manager, Record Retention

Aerospace Corporation

[email protected]

(310) 336-1884

Aerospace Corporation: Records Retention Policies 01/25/99

K Chan, B Ciccone, K Sun 2 IOM 533

Table of Contents1 Scope and Purpose of IS.................................................3

2 Challenges and Risks Faced ..........................................4

3 Methodology and System Development Life Cycle.....4

4 Brief Overview of As-Is....................................................5

5 Changes Needed in As-Is................................................5

6 Specs for To-Be IS ...........................................................8

7 Testing .............................................................................12

8 Training............................................................................14

9 To-Be Process and Organization Model......................15

10 User Testimonials and Final Client Signoff ................17

11 Lessons Learned............................................................17

12 Bibliography....................................................................19

13 Appendix A: As-Is Process Diagrams .........................21

14 Appendix B: To-Be Process Diagrams........................30

15 Appendix C: User’s Guide.............................................39

16 Appendix D: User Testimonials....................................46

17 Appendix E: Final Client Signoff ..................................48



1 Scope and Purpose of IS

Purpose of the system -- Aerospace Corporation (like any business) needs an effective process forstoring, accessing and destroying a wide variety of business records. This project focuses on thepolicies for how long each type of record should be retained (collected into what is known as theretention schedule), and providing a simple and effective way to lookup the policy in effect forany given type of record. The purpose of the system is to store the records retention policies in alogical and expandable database. This policy information will be used by the Record Retentiondepartment staff and will eventually be integrated with a new records tracking system next year.Thus, the IS developed in this project manages information related to categories of records orrecord types; the new records tracking system to be acquired next year will manage trackinginformation related to the records themselves.

Business Process -- The records retention process includes the activities needed to effectivelymanage corporate records: defining retention policies for how long records should be kept,storing and managing the records, providing access to the records, and destroying the records atthe appropriate time. The business goals of records retention at Aerospace Corporation includeminimizing the cost of storing records, minimizing the time to access records, and maximizingthe benefit received from the records.

Role of IS in To-be Business Process -- One role of the IS is to provide automation: an efficientway to record, maintain and communicate the retention policies to all those involved in therecords retention process to help ensure effective management of records. The other role of the ISis to act as an enabler: involving the legal department attorneys, functional department managersand record owners in the records retention process. This will be done by including them indefinition and approval of policies input into the IS, review of policies in the IS whenever recordsare tagged for destruction, and identifying policies in the IS that need revision.

Business Case: Although many records can and should be destroyed after only a few years,managers and attorneys in the company have felt uncomfortable doing so and request retention often years or more. The primary reasons for this include lack of understanding of retention policiesand lack of understanding of the costs associated with keeping records indefinitely. These costsinclude both storage overhead and legal risks. A clarified and well-communicated recordsretention policy is a key enabler that will allow the company to significantly reduce its costs andlegal risks.

Who are users -- The users are the staff of the Records Retention department, the managers of thecompany’s functional departments and some record owners. Each department, e.g. Finance, hasseveral department managers, each responsible for an office, e.g. Payroll. Users outside theRetention Department will either read printouts of reports generated by the system or downloadthe database to review the policies directly. For example, the Legal Department will receive ahardcopy report of the complete retention schedule. The Records Retention staff has extensiverecords experience, a moderate comfort level with PC technology, and very limited experiencewith database technology. Motivation factors include limitations of the current system (lack offlexibility, missing information), lack of understanding and appreciation of records managementoutside the Records Retention department, unclear retention policies (causing excessive storageperiods), potential cost savings, and desire to understand and reduce legal risks.



2 Challenges and Risks Faced

2.1 Challenges

This project offered several challenges. First, was understanding the concepts, terminology andprocesses involved in records management. This challenge was addressed by studying materialsprovided by Kay Wade that explained standard industry concepts and terminology and byexploring suggested Internet websites of various records-related organizations (see Bibliography).We also obtained permission from Xerox Corporation to study their records retention processdocumentation as a benchmarking exercise and were allowed to provide them to the client forbenchmarking purposes.

A second challenge was understanding the record retention and policy process which isperformed over a period of years. This made it more difficult to piece together the different partsof the process into a unified model. This challenge was addressed by going through severaliterations of revisions with reviews by the client.

Other challenges included bringing various members of the team through the learning curve ofusing MS Access, ARIS, and basic process and data modeling skills.

2.2 Possible Risk Factors

The client plans to use the IS to convince functional department managers to buy-in and adhere toa strict records retention policy—a change from current management practice. There is a risk thatthe client has unrealistic expectations for the IS. The USC team needs to help the client clarify theIS role in relation to her role in convincing managers about the new practice.

There was also an implementation risk due to not having MS Access ’97 available in thedepartment at the start of the project. This created the risk of possibly not being able to obtain theapplication in time for final implementation. This risk was mitigated by planning to use a laptopfor demonstration and training purposes and temporarily implementing the system in a nearbyoffice which had MS Access ’97. The actual result was that MS Access ’97 was installed aftertraining but just before final implementation began.

3 Methodology and System Development Life Cycle

Our methodology consisted mainly of interviews with Kay Wade and Ted Podgorski focused onthe as-is business process and the role of the IS in the to-be business process. We used contextualinquiry as we received a department tour from Ted Podgorski. Kay Wade provided the team withseveral documents providing background on the field of records management and the future plansfor records and document management at Aerospace Corporation.

The team used a prototyping life cycle to enable the client the get an early view of the IS andprovide feedback on requirements. This approach also enabled the team to develop itsspecification, modeling and MS Access skills early in the project.

Total meeting time: 10 hours 30 minutes.



Date Duration Participants Methods Topics

9/23/98 90 min K Chan, B Ciccone, K Sun,K Wade

Interview Overview, Aerospace recordsmanagement, project schedule

9/30/98 150 min K Chan, B Ciccone, K Sun,K Wade, T Podgorski, LBurgess

Contextualinquiry

Aerospace RM processes, retentionpolicies/procedures, as-is/to-be IS

10/26/98 120 min K Chan, B Ciccone, K Sun,K Wade, T Podgorski

Interview Naming the business process, as-isand to-be processes

11/5/98 90 min B Ciccone, K Sun, K Wade,T Podgorski

Interview Review of to-be process, metrics,and plans for implementation andtraining


Interactiveand hands-on

Training on use of the IS


Interactiveand hands-on

Installation of IS; training ininstallation process; follow-ongeneral training

4 Brief Overview of As-Is

The Records Retention Process involves receiving records to be managed by the RetentionDepartment, calculating a retention period for which the record should be kept and storing therecords. Periodically, the records are reviewed to identify those whose retention date has passedand therefore should be destroyed. These records are handled by obtaining the required approvalsfor destruction of the records and sending them to a subcontractor for incineration.

In the Record Storage Process the retention date is calculated using a 3-ring binder notebook (theretention schedule) of policies that specify the number of years each type of record is to be kept.This notebook is kept in the Retention Department and is generally not available to or referencedby others in the corporation.

In the Record Review Process records identified for destruction are reviewed by the Legal andfunctional department record owner to approve destruction of the record.

The As-Is models are provided in Appendix A: As-Is Process Diagrams.

5 Changes Needed in As-Is

Common problem encountered in the as-is process include out-of-date retention policies,disagreement about whether to destroy records, lack of agreement on the business rules thatinfluence retention periods. The following changes in the as-is process were suggested to improvethe process.

1. Change in information system: Add retention policies database (MS Access) to replaceoutdated retention policies manual (3-ring binder).



Reason for change: The Retention Department currently uses an outdated retention policiesmanual in the form of a 3-ring binder for determining the retention date for each record submittedto the department. However, this outdated manual has several limitations: a) the retention policiesare outdated and not approved by the current legal department and department functionalmanagers, b) it is large, bulky, and understandable only by the staff of the Records Retentiondepartment, and c) it is difficult to revise. An IS containing retention policies in the form of anMS Access database is needed to overcome these limitations, streamline the approval, review,and revision process, and enable the Retention Department, legal department and functionaldepartments to have shared involvement in the process.

Feasibility assessment: Design and implementation of the new IS can be accomplished with thehelp of the USC IS team. Maintenance of the IS can be accomplished with the help of theAerospace Corporation IS department. This change is incorporated as a key component of the To-Be business process. THIS CHANGE IS FEASIBLE AND WAS IMPLEMENTED.

2. Change in process: Periodic review of Records Retention Policies using report generated fromIS. (Not featured in As-Is business process.)

Reason for change: One of the primary causes of requests for extension of retention date beyondthe scheduled retention date is that record owners disagree with retention policies. Regular reviewof retention policies would allow these agreements to be negotiated in advance, greatly reducingthe negotiation process that occurs when each record is tagged for destruction. Another cause ofrequests for extension of retention date is changes in business rules. Periodic reviews of policieswould allow functional managers to incorporate new business rules as policy revisions.

Feasibility assessment: The Retention Department is confident that they can obtain support forperiodic policy reviews following the initial negotiation and approval of new retention policies.These periodic reviews require the Retention Staff to schedule and initiate periodic (yearly)discussions with the Legal Department and the functional department managers to identify anypolicies that need revision. THIS CHANGE IS FEASIBLE AND WAS IMPLEMENTED.

3. Change in process: Document retention scheduled review also requires records retention policyreview. In As-Is process, documents were reviewed without considering changes in policy.

Reason for change: Another cause for requests for extension is that record owners are not awareof policies or do not have access to the documented policy that relates to the document tagged fordestruction. Providing the policy for review along with the request to destroy the record enablesbetter communication with the document owner and gives the document owner the opportunity tobring up any changes in business rules that support a policy change. This process change willreduce the number of requests to extend the retention date.

Feasibility assessment: The new IS will allow the Retention Department staff to produce ahardcopy of the appropriate retention policy relating to the document tagged for destruction. Thispolicy can be sent with the form used for obtaining approval from the document owner and thelegal department. THIS CHANGE IS FEASIBLE AND WAS IMPLEMENTED.

4. Change in process: Increased communication options. Email was added.

Reason for change: The increased frequency of policy reviews implied by the other processchanges create the need for a more streamlined way of communicating between the RetentionDepartment, the Legal Department and the functional department managers. Email would providea convenient way to communicate changes and obtain approvals.



Feasibility assessment: Email is broadly available at Aerospace Corporation. THIS CHANGE ISNOT FEASIBLE AND WAS NOT IMPLEMENTED.

5. Change in organization: Create a virtual team for the records of each department office,consisting of representatives from the Retention Department, the Legal Department and thefunctional department office. Each team would have incentives to minimize costs and maximizevalue obtained from the records for that functional department.

Reason for change: This change would introduce more teamwork between the Record Retention,Legal and functional departments. The would create even greater shared involvement by theaffected groups, while creating the need to communicate information such as storage costs,number of requests for retention date extensions, and number of record accesses.

Feasibility assessment: This change has two requirements. First, an information system mustprovide the virtual teams with metrics on storage costs, accesses, and other data for that specificdepartment office. This data may or may not be available from the new record tracking systembeing acquired. Second, management must support the time, effort and incentives to create andreward the teams. It is not clear that management will provide this support. THIS CHANGE ISNOT FEASIBLE AND WAS NOT IMPLEMENTED.

6. Change in information system: Provide faster lookup and more accurate policies when storingrecords

Reason for change: In the as-is process, when a record is requested to be stored, members of therecord retention department will review the requested record, compare against the recordretention policy in a 3-ring binder and determine what type of record it is and what retentionpolicy it goes by. The record retention staff will then assign the retention date for that record.This as-is process has many manual judgements involves, and therefore can introduce manyhuman errors.

In the to-be scenario, the current retention policies will reside in the IS, so record retention staffwill easily search for the retention policy associated with the record in question. This new IS willreduce the possibility for human error. The members of the record retention department will befreed from tedious table look-up responsibilities and be able to channel their time to their primaryresponsibilities that utilize their area of expertise.

Feasibility assessment: This change will be feasible because it addresses the immediate problemthat record retention staffs have spent too much resource to keep track of the up-to-date retentionpolicies. This change is localized to the record retention department, which is also the primarybenefactor of this change. This is an incremental change, since the business process of storingrecords remains the same. THIS CHANGE IS FEASIBLE AND WAS IMPLEMENTED.

7. Change in process: Eliminate retrieving, copying and reviewing records when disposing ofthem

Reason for change: In the as-is process, when a record is to be destroyed, members of the recordretention department will again review the record and send the record to the record originator andthe legal department for approval before the destruction of the record. This is to ensure that theuseful record was not destroyed by mistake. This process is very troublesome and requirescommunication among different parties every time when a record is to be stored. This may leadto coordination problem, too.



In the to-be scenario, there IS will store the most current record retention policies that everydepartment have agreed upon, so the need to retrieve, copy, and send the record to the originatorsand the legal department for verification will be eliminated. This new IS will reduce the costlytime overhead for interdepartmental communication, releasing staffs of various functionaldepartments to focus on their primary responsibilities. It will minimize unnecessary coordinationproblems and communication errors. It will streamline the process of record destruction, andavoid keeping documents for extended period of time. This will in turn saves storage overheadand minimizes possible legal risks.

Feasibility assessment: This change will be feasible because it is supported by diverse groupswithin the Aerospace Corporation. Every department and record retention staff can benefit fromit. It addresses the immediate problem that various departments have spent too much time on therecord retention effort. It also solves the problem that record retention staffs have spent too muchresources interfacing with other departments to verify the usefulness of the records. This willstreamline the business process of record destruction. The risks involved with this change is low,as long as the retention policies stored in the IS are agreed upon by all departments. THISCHANGE IS FEASIBLE AND WAS IMPLEMENTED.

6 Specs for To-Be IS

Metrics of success for IS for use as acceptance criteria --

• Information system is able to store and report on distinct retention policies for all functionaldepartments and offices (~ 10 departments, each with ~5 offices = 50).

• Information system is capable of storing retention policies for all functional departments inthe company (~ 600 policies).

• Information system enables locating a policy for a given record type within 2 minutes andenables revising a policy for a given record type within 5 minutes.

• Information system is delivered by 11/30/98 and all implementation, training, and questionsand issues raised by the client are resolved by 12/7/98.

Metrics of success for project --

• Value to the business process: 95% of records maintained by the Retention Department aredestroyed according to the new policies defined in the information system (or are approvedexceptions).

• Value to the business process: Improved communication with record owners results in lessthan 10% of records requiring an extension of retention date before destruction. Thisaddresses the problem in the as-is process where record owners attempt to negotiateextending retention date due to lack of knowledge about policy or lack of participate in thepolicy creation process.

• Time: The times needed to a) apply the new policy to a particular record, and b) identifyrecords to be destroyed are improved by 50%.

• Cost: The project is completed with a client time commitment of less than 4 hours per week.



• Cost: Elimination of unneeded records results in freeing at least 10% of records storagespace.

Functional Specifications

Tasks to be performed by humans and IS in To-be business process:

• Enter departments, offices and record types: IS will enable the Retention Department staffmember to enter or revise the names of all departments, offices and record types.

• Enter record types in use by an office in a department: IS will enable the RetentionDepartment staff member to enter the list of record types actually in use for each office ineach department. Retention policies relate to a type of record.

• Enter retention policies: IS will provide a list of record types actually in use by an office in adepartment to enable the Retention Department staff member to enter, revise or delete aretention policy for each record type in that office (Retention Schedule Worksheet).

• Summarize retention policies: IS will provide a summary of retention policies for all recordtypes in use by an office in a department to enable the Retention Department staff member todiscuss the policies with a functional manager and identify revisions needed in the retentionpolicies (Draft Retention Schedule).

• Retention policy approval report: IS will provide a report containing the policy for a singlerecord type in use by an office in a department; this report will enable the RetentionDepartment staff member to a) obtain signature approvals for the policy, and b) obtainapproval to destroy a particular record of that type when the retention date has passed (FinalRetention Schedule).

Interface with other systems -- The IS shall be self-contained and will not be required to interfacewith other systems. However, in the future, the Retention Department plans to incorporate theretention policies developed with this IS into a soon-to-be acquired electronic records trackingsystem. Also, a data field called Category will be used by a future electronic documentmanagement system.

Usability (understandability, learnability, operability) -- The IS shall provide user interfacefeatures that will enhance usability: a) drop-down menus for multiple-choice data values, and b)push buttons for queries and reports.

Maintainability (changeability, stability, testability) -- The IS shall provide for the followingmaintenance functions: a) ability to add new departments and offices, b) ability to add new recordtypes, and c) ability to revise policies. Modification of policy structure such as changing oradding policy fields will require MS Access development skills. Developers with these skills areavailable in the IS department of Aerospace Corporation.

Portability (adaptability, installability, replaceability) -- The IS shall be easily installed on anyMS Windows 95/NT system having MS Access 97. The IS will be delivered in the form of an MSAccess database file which can be downloaded to any number of PCs.

Business rules to consider -- The IS shall enable creation and maintenance of retention policies,which themselves are specifications of business rules. Their primary purpose is to enablecomputation of a date after which a record can be destroyed, taking into account any legal,



business, and management requirements. However, no record is actually destroyed withoutapproval of the record owner and attorneys in the legal department. This rule prevents destructionof a record that is needed for a current or future project or for a legal action.

Hardware/Software

The IS will be used as a standalone application on standard PCs running Windows 95 and MSAccess 97. The client will have two system configuration options--one for initial use and one forpossible future use:

• IS can be installed on a single PC and Retention Department users will share that PC; usersoutside the Retention Department will review policies through the use of hardcopy printoutsand provide input in meetings with the Retention Department staff and by email.

• Future: IS can be distributed in the form of an MS Access master database file which ismaintained by the Retention Department and stored on a file or web server for download toany system running Windows 95 and MS Access 97; the Retention Department will beresponsible for communicating to all secondary users which version of the master databasefile is in effect.

Implementation (training, packaging, roll-out, installation restrictions in time and skills)

• Client requires a user manual and training for the use of the information system.

• The implementation must consist of a self-contained MS Access 97 file; no other PC orsystem modifications must be required.

• Use of the IS for data entry, data modification, and report generation must not require MSAccess development skills; client must identify a source of MS Access development skills formodification of policy structure, data entry forms and reports.



Data Items NotesRecord Type Each policy relates to a type of recordSchedule No. A policy number is referred to as a schedule number

(as in a retention schedule for each type of record)Category A categorization of records to be used in a future

records mgmt systemOffice of Record Functional office that owns a particular type of recordRetention (User) The minimum number of years of retention for that

record type that is recommended by the functionaloffice; this period incorporates business rules

Retention (Legal Office) The minimum number of years of retention for thatrecord type that is recommended by the Legal dept.

Retention (Law/Reg) The minimum number of years of retention for thatrecord type that is recommended by law

Years Retention: Office, Center, Total a) the number of years that the record will be stored inthe functional office, b) the number of years that therecord will be stored in the Retention Department, andtotal (a + b)

Access Which employees will have access to the recordLocation Where in the Retention Department the record is

storedFunction/Remarks CommentsTable 1: Information Requirements

Report NotesRetention Schedule Worksheet(of Department X)

Listing of all fields for all records of a specifieddepartment (see Table 1: Information Requirements);will be used as a worksheet for developing portions ofthe retention schedule

Draft Retention Schedule(of Department X)

Listing of specified fields for all records of a specifieddepartment; fields include Record Type, ScheduleNo., Office of Record, Location, Retention (Final);space should be provided for signatures (Office ofRecord, Records Management, General Counsel); willbe used to document temporary agreement, pendingfinal agreement

Retention Schedule Form listing specified fields for one record of aspecified department; fields include Record, ScheduleNo., Office of Record, Location, Retention (Final);there will be a separate form for each type of record;the collection of forms will constitute the corporation'sofficial retention schedule. space should be providedfor signatures (Office of Record, Director, RecordsManagement, General Counsel)

Table 2: Reporting Requirements



7 Testing

7.1 Testing Plan

Both Alpha and Beta tests will be performed for the IS. The USC-IS team will conduct the Alphatest; the client will participate in the Beta test.

7.1.1 Alpha Testing

Objectives

The Alpha testing performed on the IS will confirm if the individual functional specification andIS success criteria are met.

Each of the following IS functions will be tested:

• Entry of category type, policy periodic review, access type, department and office of recordfor each retention policy into the IS database.

• Entry and revision of record retention policies into the IS database.

• Summarization of record retention policies in the forms of “Draft Retention Policy” and“Record Retention Worksheet”.

• Generation of approval report in the form of “Retention Schedule”.

Test Scenarios

Test scenarios will be executed and verified. The test scenarios will represent typical, critical andabnormal use of the system. Enough detail will be included to allow the tester to execute the test,compare expected results with actual results and report any differences.

Four different test scenarios will be examined to verify the functional specifications:

• Populating Database: Test entries will be added for each of the following IS entities:Category Type, Policy Periodic Review, Access Type, Department and Office of Record.

• Populating Policies: Test policies will be added, and their attributes are assigned with testtypes.

• Generating Summary: Draft Retention Policy and Record Retention Worksheet will begenerated to reflect new changes.

• Generating Approval Report: Retention Schedule will be generated to reflect new changes.

Data Collection Plan

The data will be collected by examining reports produced by the IS.

Expected Results



Reports generated are expected to display new policies that are added to the database. It wouldshow that each of these policies are associated with new test category, periodic review, accesstype, department and office of record.

7.1.2 Beta Testing

Objectives

The Beta testing performed on the IS will be loosely protected. The client will be encouraged torun through the entire to-be business process and utilize the IS in functions wherever it isrelevant.

The following business process steps will utilize the IS:

• Confirm need to review policy

• Edit Policy Database

• Generate Documents and Reports

Each of the following IS functions will be tested:

• Entry of category, periodic review, access type, department and office of record into the ISdatabase.

• Entry of record retention policies into the IS database.

• Summarization of record retention policies in the forms of “Draft Retention Policy” and“Record Retention Worksheet”.

• Generation of approval report in the form of “Retention Schedule”.

Test Scenarios

Test scenarios for beta testing will simply be the to-be process. The tester will be asked toexecute the to-be process with simulated data.

Data Collection Plan

The data will be collected by summaries and reports, a form of system printouts, in additional tothe observation of users.

Expected Results

The IS is expected to enhance key functions of the to-be business process. The functionalspecifications of the IS are to be met or exceeded. And the metric of success for the IS and theproject should be met.

It is expected that the reports will enhance communication with the Legal Department andfunctional department managers. This will be measured by interviewing the participants andasking how many times the reports were used and what types of uses they were utilized for.



7.2 Results of Testing

7.2.1 Results of Alpha Test

The following is the results of the alpha test:

1. MTC is met for all tasks.

2. Data Integrity is verified.

3. The GUI enhancements are suggested.

4. The RRPIS rejects abnormal data, such as wrong data type.

5. The exact test scenarios are executed twice with the same results.

7.2.2 Results of Beta Test

The clients find the RRPIS user-friendly, and commented favorably on its features. The followingthree changes are requested:

1. The “Schedule number” field should be able accept alphanumeric numbers.

2. The “Year Retention (Total)” field should be calculated automatically as the sum of“Year Retention (Center)” and “Year Retention (Office)”.

3. An addition field, “Year Type” should be added. This new field is an attribute to theRecord Policy. The retention reports should show the year type attribute.

8 Training

8.1 Training Plan

Training for the new IS and new business process are required for the Retention Departmentmanager and Retention Department staff. Training will be accomplished by both an informaltraining session and a user guide.

Informal Training

The client has limited experience with MS Access and is not familiar with the final version of theIS. An informal training session is necessary to flow down information from the developers tothe users of the system.

The Informal Training will be delivered in the form of a demo of the IS. The demo will provide adescription of system features, an overview of the benefits expected from the new IS and businessprocess, step-by-step instructions for the most common and critical functions of the IS, and howto use the IS within the context of the new business process. The IS demo will provide in-depthand explicit information about the GUI and specific functions of the IS. The trainers (USC team)will request feedback and make observations to identify improvements needed in the IS beforefinal installation and delivery. Future flow-down sessions will be available to cover any newfeatures added to subsequent software releases.



The trainers will deliver the demo, switching to the laptop PC to demonstrate system functions asthey are mentioned in the demo. The participants will also have the opportunity for “hands-on”practice during the demo and to step through the User Guide.

8.2 Results of Training

The informal training was given on 12/2/98 to K Wade and T Podgorski for 75 minutes. TheRRPIS was demonstrated for the first time. They were trained on its features at the same time.The training session was a success. The clients liked the GUI and the specific functions of the IS.They believe it met the requirements of the Record Department. Throughout the training,attention is paid to explaining the limitations of the IS. Additionally, attendants were stronglyencouraged to obtain MS Access training, so that they can customize the IS. In the end of thetraining session, participants were encouraged to practice what they have just learned. Anopportunity is available for them to ask questions and provide feedback.

The changes discovered in beta testing will be incorporated into the RRPIS. These are minorchanges that do not require extensive rework of the RRPIS. No formal training session is neededto cover these changes. The Quick Start Guide will reflect the new enhancements and will beavailable to future primary users and beneficiaries.

8.3 User’s Guide

A User Guide, in the form of a Quick Start Guide, will be available to the clients after thetraining. This Quick Start Guide will contain a step-by-step run-through of all the majorfunctions of the IS and a brief description of each of the screens within the to-be process.Beneficiaries who use the reports generated by the IS will use the Quick Start Guide as source ofreference and help. Users who are not available to take the training session will have access tothe Quick Start Guide, too, for JIT training.

For complete User’s Guide see Appendix C: User’s Guide.

9 To-Be Process and Organization Model

The To-Be models are provided in Appendix B: To-Be Process Diagrams.

9.1 To-Be Organization

The Records Retention Process of the Aerospace Corporation primarily affects the RecordsDepartment, but the other areas in the company, like the Legal Department and otherDepartments, are external players that submit records and record policies into the process.

The IS allows the Records Retention Process to be realized. It is managed by the RecordsDepartment. The records staff is responsible for IS.

The records staff responsibilities include the following duties.

1. The records staff maintains the IS by updating the database of record policies.

2. The records staff conveys the policies to the Legal Department and variousAerospace departments who review the policies directly and make suggestions toupdate the database.



3. The records staff processes incoming records with information in the IS.

9.2 ERD and IS Integration

The ERD consists of the Record Policy entity in which the other entities (Department, Office ofRecord, Periodic Review (Year), Year Type, Category Type, and Access Type) act as attributes.The Record Policy entity lists record policies and their description.

The IS integrates the entities of the ERD. New record policies are entered into the IS through theEdit Records screen on the Switchboard. The Edit Records screen shows all of the ERD entities.Each entity contains valuable information that describes record policies. After record policies areadded, information may be sorted and displayed according to the requirements of the To-BeRecords Retention Process.

9.3 To-Be Records Retention Process

How ERD and UI screens facilitate the to-be process:

Adding and Reviewing Record Policies

When new policies are added to the IS, the Record Policy entity must be populated. Before thatcan happen, all entities must be entered. All of these entities act as attributes of the Record Policyentity. The Edit Policy screen mimics the ER Diagram.

IS: Click on Edit Policy.

The IS allows the records staff to constantly monitor the record policies for relevancy. Therecords staff periodically checks the policy review date. The IS maintain dates on when theRecord Policy was last updated. Records that should be reviewed after a specified time periodwill show up. The information can be sorted on Department, Office of Record, Record Type, andAll Records.

IS: Click on Review Policy | Policies due for Periodic Review.

If this method is inadequate, the IS allows the records staff to search for records based on the dateof last update.

IS: Click on Review Policy | Year of Last Update.

Then the Records Retention Worksheet is generated which allows the records staff to confirmwhether the Policy Review Process is warranted.

In the Policy Review Process, the involved departments, Legal and other Departments, arenotified of the policy review with the Draft Retention Schedule document that contains the recordpolicies. The information can be sorted on Department, Office of Record, and Record Type.Signatures are required to permit any policy changes. Any recommended changes are updated inthe Edit Policy screen.

IS: Click on Display Policy | Draft Retention Schedule.



After the preliminary change of the record policy, final approval is required. The RetentionSchedule report is generated and sent to Legal and other Departments. After their responses arereceived, the policy change is approved.

IS: Click on Display Policy | Retention Schedule.

Processing Incoming Records for Storage

After the Records Department receives a new record, it must be stored in the Record StorageProcess. The records staff assigns a policy and retention date to the record. The retention dateprovides the date when the record should be destroyed after a specified time frame. The RetentionSchedule Worksheet shows the retention date which is calculated in this document. The retentiondate is stored in the record tracking system, another IS used by the Records Department.

IS: Click on Display Policy | Retention Schedule Worksheet.

The records staff constantly monitors the records retention date of the stored records in anotherIS. After the retention date of the stored record has been reached, the record and its policy shouldbe reviewed. The record is reviewed in the Record Review Process.

In the Record Review Process, a copy of the Draft Retention Schedule is sent to LegalDepartment or other Departments. They will decide whether to destroy or keep the record.

IS: Click on Display Policy | Draft Retention Schedule.

The policy may be outdated so it should be reviewed concurrently. The records staff needs toconfirm whether to review the policy or not.

IS: Click on Display Policy | Retention Schedule Worksheet.

After the decision to review the policy has been made, the Policy Review Process begins. Thisprocess is described in the previous section.

10 User Testimonials and Final Client Signoff

The clients appreciate the RRPIS. They consider it to be very user friendly. They are confidentthat they would have no problem using it. Our client also feels we learned much about the recordretention process, which is demonstrated by our product, the RRPIS.

For complete user testimonials and final client signoff see Appendix D: User Testimonials.

11 Lessons Learned

1. Scope of the IS project

During the development phase of the RRPIS, there was some confusion about how muchfunctionality was required of the IS project. We were unsure about the number of functionsrequired and how ambitious we have to be for our clients.

The scope of the IS project was debated in great length. This delayed any resolution about thefunctionality of the IS. In the end, the unrealistic features, such as “on-line help”, were omitted.



Fortunately, since our clients were not too demanding, we were able to construct an IS that metall of the needs of our clients without complicated features.

2. Scope of the business process and definition of the five models

It is important to understand the business process and know the proper method to construct abusiness process. It is inefficient to not properly define and limit the business process since theproject may endure numerous revisions that could delay the project.

We had to change our models several times. Each time, the changes were significant. Longhours were required to update the models.

3. Management of Client Relations

The clients had many time constraints. It was difficult to arrange meeting times. Our initial planof weekly meeting was never realized. Many meetings were postponed. The schedule waspushed back.

The clients had difficulty in resolving how the IS shall look and what features should be included.We had to make a decision for them and hope our guesses are right.

4. Obtaining client signoffs

Client signoffs were not utilized until the end of the project. The client provided some guidelinesin our meetings. The client is supportive and uncritical of our work.

Initially, our group presented K Wade our Memo #1 for review. She reviewed our documentsand agreed that we understood the record retention process. Subsequently, our meetings consist ofinterviews where we learn much about her business processes. We attempted to understand howher requirements could be met in the limited time frame of the class.

Final client signoff is provided in Appendix E: Final Client Signoff.

5. Use of prototype to help visualize ideas

Much of the ideas were generated after the initial version of the RRPIS was created. Theprototype helps us to visualize ideas.

6. Preparation of the demo

The first impression that our clients to the RRPIS is based on the demonstration of the prototype.Additional time in preparing the delivery of the demo would have enhance this impression.Larger monitor and faster computer would certainly help.



12 Bibliography

The Association of Records Managers and Administrators

http://www.arma.org/hq/

National Association of Government Archives and Records Administrators

http://www.nagara.org/

Technical Publications from the Government of Australia

http://www.aa.gov.au/AA_WWW/AA_Publications/ITWC.html

Corporate Memory in the Electronic Age (Govt. of Australia)

http://www.aa.gov.au/AA_WWW/ProAssn/ACA/Corpmenw.htm

Electronic Recordkeeping Websites

http://www.records.nsw.gov.au/erk/websites/websites.htm#PADI

State of Virginia resources

http://www.vsla.edu/records/

http://www.vsla.edu/records/electronic/electron.html

DOD 5015.2-STD (Dept. of Defense standard on recordkeeping)

http://jitc-emh.army.mil/recmgt/



13 Appendix A: As-Is Process Diagrams

Aerospace Context Diagram (As-Is)

RecordsRetention Process

RecordOwner

Attorney DepartmentManager

Send recordfor storage

Send instructions forrecord disposition

Send new policies

Send notification whenrecord retention date istriggered

Send new policies



Vendor

Send record fordestruction



Retention DateTriggered

New PolicyReceived

PeriodicallyCheck Record Retention Date

Records Staff

New Policies are processed here.

Records Staff

Add New Policy

PolicyAdded

Legal / Dept submitsnew records.

New Records are processed here.

New RecordReceived

Legal / Dept submitsnew policies.

As-Is Records Retention Process

Record PolicyRecordStorage

Process (As-Is)

RecordReview

Process (As-Is)

NOTE: Retention Date is stored in the record tracking system

(another IS used by the Records Dept).



AssignRetention Date Records Staff

Store Records Records Staff

Assign Policyto Records

PolicyAssigned

RetentionDate Assigned

Records Staff

DocumentsStored

NOTE: Records are documents to be stored and managed

by the Records Department.

Record Policy

Record Policy

Record Storage Process - As-Is Business Process



Sent Notificationto Legal / Dept

Send Documentto Vendor forDestruction

Records Staff

Records Staff

RecordDestructionApproved

RecordDestruction

Not Approved

ExtendRetention

Date

RetentionDate

Extended

XOR operator

Records Staff

Record Review Process - As-Is BusinessProcess

NOTE: By default, records shouldbedestroyed when the retention dateistriggered unless exceptions are

allowed.

Record Policy

NOTE: Copy ofrecord sent withnotification



ManageDocument Processing

Process Recordsfor Scheduled Review

ProcessNew Records

ProcessNew Policies


AssignRetention Date

Store Records


ExtendRetention

Date


Records Retention Process - As-Is Function Model

Add New PolicyPeriodically

Check Record Retention Date



Records Staff

RecordsRetention Dept.

AerospaceCorporation

RecordsManager

As-Is Organization Model



14 Appendix B: To-Be Process Diagrams

Aerospace Context Diagram (To-Be)

RecordsRetention Process

RecordOwner

Attorney DepartmentManager

Send recordfor storage


Send new orrevised policies


Send new orrevised policies

Send notification whenrecord retention date orpolicy review date istriggered


Send notification whenpolicy review date istriggered

Review policies

Vendor

Send record fordestruction



Retention DateTriggered

New PolicyReceived

Confirm Need forPolicy Review

Policy ReviewRequired

Policy ReviewProcess

RecordReviewProcess

AND operator

RecordStorageProcess

Policy ReviewDate Triggered

OR operator


Records Staff


(another IS used by the Records Dept). Records Staff

PeriodicallyCheck PolicyReview Date

Records Staff

New Policies are processed here.

Records Staff

Add New Policy

PolicyAdded

Review Records Review Policies

Legal / Dept submitsnew records.

To-Be Records Retention Process

New Records are processed here.

New RecordReceived

Legal / Dept submitsnew policies.

Record Policy

Record Policy

Record Policy

RecordsRetentionWorksheet




AssignRetention Date Records Staff

Store Records Records Staff


PolicyAssigned

Retention Date Assigned

Record Storage Process - To-Be Business Process

Records Staff

DocumentsStored


(another IS used by the Records Dept).

NOTE: Records are documents to be stored and managed

by the Records Department.

Record Policy

Record Policy







Records Staff

Records Staff

RecordDestructionApproved

RecordDestruction

Not Approved

ExtendRetention

Date

RetentionDate

Extended

XOR operator

Record Review Process - To-Be Business Process

NOTE: By default, records should bedestroyed when the retention date is

triggered unless exceptions are allowed.

Records Staff

DraftRetentionSchedule

Record Policy

NOTE: Copy of recordno longer sent withnotification




OR operator

Records Staff

Policy ChangesRecommended

No ChangesRecommended

RevisePolicy

PolicyRevised

Obtain Approvalsfrom Legal / Dept

Records Staff

PolicyApproved

Policy Review Process - To-Be Business Process

Records Staff

Record Policy

Record Policy

Record Policy

DraftRetentionSchedule

RetentionSchedule



ManageDocument Processing

Process Recordsfor Scheduled Review

ProcessPolicy Revision

ProcessNew Records

ProcessNew Policies

Add New Policyto Database

PeriodicallyCheck PolicyReview Date

Confirm Needfor Policy Review


RevisePolicy

Obtain Approvalsfrom Legal / Dept


AssignRetention Date

Store Records


ExtendRetention

Date


Records Retention Process - To-Be Function Model





Records Staff

RecordsRetention Dept.

AerospaceCorporation

RecordsManager

To-Be Organization Model



Record PolicyOffice of RecordDepartment

Periodic Review(Year)

Access Type

Category Type

Year Type

compriseof

1,1 0,Nreviews

specifies

1,1

1,1 0,N describeby

0,N 1,1

accessby

1,1

uses

1,1

Department Office of Record

0,N

Periodic Review(Years)

Description

Year Type

Description

Access Type

Category Type

0,N

ScheduleNumber

Retention(User)

Retention(Legal Office)

Retention(Law/Reg)

YearsRetention(Office)

YearsRetention(Center)

Location

Remarks

Last Update

0,N

To-Be ER Diagram

NOTE: (1) The Record Policy attributes include all of the entities and their attributes. The entities include Department, Office of Record, Periodic Review (Year), Category Type, Access Type, and Year Type.(2) The Records Retention Process generates reports that comprise of the Record Policy attributes. The reports generated include the

Retention Schedule Worksheet, the Draft Retention Schedule, and the Retention Schedule.

Record Type

DepartmentID

Office of RecordID

ReviewID

Record PolicyID

NOTE: In MS Access, Record Type is implementedwith the label "Record" and Record Policy ID

is implemented with the label "Record ID"

NOTE: In MS Access, Periodic Reviewis implemented with the label

"Years Next Review"

Year ID

Access ID

CategoryID



15 Appendix C: User’s Guide



RRPISRecords Retention Policy Information System

Quick Start Manual

IntroductionThis Quick Start Manual allows you to get acquainted with the most important functions ofRRPIS, the Records Retention Policy Information System.

User Guide ConventionsRRPIS is developed as a Microsoft Access97 database program for Windows 95, 98, and NT. Tounderstand the program, familiarity with Access97 is preferable.

RRPIS InstallationTo install RRPIS:1. Start the Windows operating system, if necessary.2. Right click on Start.3. Click on Explore.4. Click on the My Documents folder.5. Click on a folder or create a new folder (Click on File | New | Folder).6. Copy RRPIS into the folder.

RRPIS StartupTo start RRPIS1. Move the mouse pointer to RRPIS.2. Double click on RRPIS.

Or1. Open Access972. Click on File | Open Database3. Open folder where RRPIS is located.4. Click on RRPIS.5. Click on Open

RRPIS will now start up.



RRPIS SwitchboardWhen you start up RRPIS,the switchboard willautomatically open. Thisscreen will contain the itemsthat manage the recordsretention policies.

If the switchboard does notstart up automatically, selectForms, then double-clickon Switchboard.

The switchboard shows fivebuttons. The Edit Policy buttonallows you to edit or addinformation into the RRPIS. TheDisplay Policy button allowsyou to view the information inthree different formats. TheReview Policy button allows youto sort the policies in a specifiedtime frame. The Exit Formbutton closes the switchboard.The Exit Application buttoncloses RRPIS and exits fromAccess97.

Edit Records

The Edit Records form allowsyou to add and edit informationin the RRPIS.

Category Type

When the Category Type button is clicked,the category types may be added or edited.Category type describes the type of records ingeneral terms like correspondence,administrative record, etc.



Access Type

When the Access Type button is clicked, theaccess types may be added or edited. Access typespecifies which employee has access to therecord policy.

Policy Periodic Review

When the Policy Periodic Reviewbutton is clicked, periodic reviewmay be added or edited. Each officeof record behaves as an individualorganization that determines theperiodic reviews of its recordpolicies. This form standardizes themost commonly utilized time frames.

Year Type

When the Year Type button isclicked, year type may be added oredited.

Department

When the Department button is clicked, departments may be added or edited.

Office of Records

When the Office of Records button is clicked, theoffice of records may be added or edited. Thedepartment and periodic review fields must beselected.

Each office of records belongs to a department and each office of record behaves as anindividual organization that determines the date of its policy reviews. For example, theAccounts Payable office belongs to Accounting. It may require its record policies tosubmit to 2-year periodic reviews.(The next periodic review date iscalculated by adding periodicreview to the date of the recordpolicies' last update.)



Records Retention Policy

When the Record Policybutton is clicked, recordpolicies may be added oredited. The form showsthe fields that must beentered. All of the fieldsshould be entered.

Display PolicyThe Display Policy formallows the record policies tobe displayed in differentreports that include theRecord RetentionWorksheet, the DraftRetention Schedule, and theRetention Schedule.



Record RetentionWorksheetThe Record RetentionWorksheet is utilized forreviewing record policiesand developing the retentionschedule. The worksheetcan show all of the recordsor it can be sorted bydepartment, office of record,record policy, or category.

Draft Retention ScheduleThe Draft RetentionSchedule provides atemporary record policyagreement with space forsignatures. The recordpolicies can be sorted bydepartment, office of record,or record policy.

Retention ScheduleThe Retention Scheduleconstitutes the corporation'sofficial retention schedulewith space for signatures.The schedule can be sortedby department, office ofrecord, or record policy. Itshows one record policy perpage.



Review Policy

The Policy Review sectionallows the record policies to besorted based on their lastupdate. The sorting function isboth automatic and manual.The periodic review isautomatic. The #years ago andactual year is manual.

Policies due for PeriodicReviewRecord policies that are readyto be reviewed after apredetermined time will appearon the report. The periodicreview is directly tied to theoffice of records in the officeof record form.

It calculates the date of thenext periodic review by addingthe years from the Office ofRecord form with the lastupdate on the Record RetentionPolicy form. When the nextpolicy review date falls within90 days of the current date, therecord policy appears on thereport. Record policies aresorted by department, office ofrecord, and record policy.

Year of Last UpdateWith this feature, recordpolicies may be searched forthe year they were last updated.The exact year or year intervalmay be selected. This feature isconvenient if you are not surewhich record policy to look forbut desire to look for oldrecord policies.



16 Appendix D: User Testimonials

In addition to comments collected during demonstrations, training and installation sessions, thefollowing questionnaire was used to collect addition client feedback and user testimonials.

AEROSPACE RETENTION HIERARCHY

Client Survey

Please answer the questions with completion. Avoid oneword or one-sentence answers.

Rank Legend: 1-Very Dissatisfied, 2- Dissatisfied, 3-Neutral, 4-Satisfied, 5-Very Satisfied

1. Do you feel the students understand your businessand wishes for the IS (information system)?Rank__5___, Comments:

In addition to studying the material they weregiven, the students clearly did quite a bit ofindependent research on records management. Theyhave a good grasp of the need for recordsmanagement and for the problem we are trying tosolve.

2. Have they been responsive to your ideas?Rank__5___, Comments:

Yes, they have asked questions, listened carefullyto the answers, and then carefully tailored theirprogram to take this information into account.

3. Do you feel your time has been well-spent thus far?Rank__5___, Comments:

They have developed a program to automate tasksthat would otherwise have taken a great deal oftime and effort on our part.

4. Do you feel you can use the IS for your businessactivities? Rank__5___, Comments:

Yes, we can and will use the program. Developing avalidated retention schedule is the key to goodrecords management, so this program will assist usin an activity that is central to our operation.



5. What specifically do you feel has gone right?Rank__5___, Comments:

Team members have come up to speed quickly on afield that is entirely new to them. They have donetheir homework and have developed a product thatpromises to be very useful.

6. Are there any concerns you have that were notaddressed? Rank___0__, Comments:

No

7. Overall, what was your impression of yourexperience with the students? Rank___5__, Comments:

This has been a very positive experience. We havea useful new program that was developed with aminimum level of effort from our own staff. It'shard to beat that combination. The team memberswere also very understanding about my scheduleproblems, that must have impeded their progress.It was a pleasure to work with them.

8. Any additional comments?

I'm delighted we had the opportunity to participatein this program.



17 Appendix E: Final Client Signoff



Final Approval Agreement

This agreement is made on ________________________, 1998 in El Segundo, California by andbetween Kevin Chan, Bert Ciccone, and Kenneth Sun, hereinafter referred to as the “IOM 533Consulting Group” and Kay Wade of the Aerospace Corporation.

This agreement ends the business relationship between the IOM 533 Consulting Group and theAerospace Corporation.

The work is finished to the satisfaction of the Kay Wade in the delivery of the Records RetentionPolicy project report and the information system.

The IOM 533 Consulting Group assumes no liabilities and obligations in the use of the materials.

DATED: ___________________ ________________________________

IOM 533 Consulting Group

DATED: ___________________ ________________________________

Kay Wade, Manager

The Aerospace Corporation

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